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010   $a0-470-88508-4
010   $a1-119-20135-7
010   $a1-282-68977-0
010   $a9786612689772
010   $a0-470-88305-7
010   $a1-57660-253-2
035   $a(CKB)1000000000470625
035   $a(EBL)537329
035   $a(OCoLC)638860349
035   $a(SSID)ssj0000238082
035   $a(PQKBManifestationID)12048111
035   $a(PQKBTitleCode)TC0000238082
035   $a(PQKBWorkID)10222273
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035   $a(MiAaPQ)EBC537329
035   $a(EXLCZ)991000000000470625
100   $a20060320d2006      uy             0
101 0 $aeng
135   $aur|n|---|||||
181   $ctxt
182   $cc
183   $acr
200 14$aThe RIA's compliance solution book$b[electronic resource] $eanswers for the critical questions /$fElayne Robertson Demby
205   $a1st ed.
210   $aNew York $cBloomberg Press$d2006
215   $a1 online resource (317 p.)
225 1 $aBloomberg Financial ;$vv.57
300   $aIncludes index.
311   $a1-57660-192-7 
327   $aTerms and acronyms -- Federal and state laws and other regulations -- RIA registration : what it means, how it's done -- The nuts and bolts of Form ADV -- How to complete Form ADV part 1 -- How to complete Form ADV part 2 -- RIA compliance programs and codes of ethics -- Investment recommendations and fiduciary obligations -- Advisory contracts and fees -- Custody of customer accounts -- Selecting brokers and executing trades -- Personal securities trading and reporting -- Voting client proxies -- Record-keeping requirements -- Advertising and client communications -- Referrals -- ERISA plans -- Soft dollars -- Protecting clients' privacy -- Money laundering -- Supervising employees -- SEC examinations and enforcement actions.
330   $a"A handbook for registered investment advisers that not only explains how regulations affect their firms, but also provides step by step directions on what they need to do to comply with them"--Provided by publisher.
410  0$aBloomberg Financial
606   $aInvestment advisors$xLegal status, laws, etc$zUnited States
606   $aInvestment advisors$xLicenses$zUnited States
606   $aInvestments$xLaw and legislation$zUnited States
615  0$aInvestment advisors$xLegal status, laws, etc.
615  0$aInvestment advisors$xLicenses
615  0$aInvestments$xLaw and legislation
676   $a346.73/0926
676   $a346.730926
700   $aDemby$b Elayne Robertson$f1962-$01711100
801  0$bMiAaPQ
801  1$bMiAaPQ
801  2$bMiAaPQ
906   $aBOOK
912   $a9910830247503321
996   $aThe RIA's compliance solution book$94102191
997   $aUNINA